George A. Murphy
Professional summary
George Arthur Murphy JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, George had worked at 9 firms, which includes RAYMOND JAMES & ASSOCIATES INC., MORGAN STANLEY DW INC., FIRST UNION BROKERAGE SERVICES INC., ESSEX NATIONAL SECURITIES LLC, MARKETING ONE SECURITIES INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., SUN LIFE FINANCIAL DISTRIBUTORS INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2000 - August 7, 2001
RAYMOND JAMES & ASSOCIATES, INC.
June 9, 1999 - March 21, 2000
MORGAN STANLEY DW INC.
July 15, 1996 - May 19, 1999
FIRST UNION BROKERAGE SERVICES, INC.
March 4, 1996 - July 3, 1996
ESSEX NATIONAL SECURITIES, LLC
January 1, 1996 - March 11, 1996
FIRST UNION BROKERAGE SERVICES, INC.
August 16, 1993 - January 1, 1996
MARKETING ONE SECURITIES, INC.
March 25, 1992 - August 30, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 25, 1992 - August 30, 1993
SIGNATOR INVESTORS, INC.
May 26, 1988 - January 23, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 25, 1982 - April 12, 1988
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
